DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Former SEC-registered adviser
Vivaldi Asset Management, LLC
Legal name Vivaldi Asset Management LLC
Latest filing Mar 29, 2021
First filing on the tape Aug 22, 2013 · 12 filings
RAUM
$786M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
10 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$786M as of Mar 29, 2021
Mar 13, 2014$21.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 29, 2021
Mar 13, 20140 then
Employees (5.A)22 as of Mar 29, 2021
Mar 13, 20145 then
Private funds: no history
RAUM -13% over the last fiscal year-8.3% a year over threeIARs 2 to 2offices 2 to 1
Practice profile
derived from the filing of Mar 29, 2021; every figure names its basis
- RAUM per advisor
- $393MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $157MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 11.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$786M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D Marc Bassewitz · Chief Compliance Officer/General Counselcontrolsince 01/2019 · owns less than 5%
- Samual Chad Eisenberg · Chief Operating Officercontrolsince 08/2013 · owns less than 5%
- Lawrence Randal Golden · Co-Founder/Chief Financial Officercontrolsince 08/2013 · owns less than 5%
- Lee Scott Hergott · Head Of Research/Co-Ciocontrolsince 08/2013 · owns less than 5%
- Dillon Michael Peck · President/Co-Ciocontrolsince 08/2013 · owns less than 5%
- Alan David Sternberg · Co-Founder/Ceocontrolsince 08/2013 · owns less than 5%
- Alan David Sternberg · Ownercontrolsince 12/2011 · owns 75% or more of Aaj Ventures Inc
Entity owners
- Vivaldi Holdings, LLC · Memberdirect · owns 75% or more
- Aaj Ventures Inc · Memberindirect · owns 25% to 50% of Vivaldi Holdings, LLC
Related persons
Schedule D 7.A
- Vivaldi Capital Management LPinvestment adviserbankpooled vehicle sponsornRAUM $5.6B
- Vivaldi Innovative Technologies LLCinvestment advisern
Offices
Schedule D 1.F, the 25 largest
- Fort Wayne, IN2 employees
What changed
consecutive filings, newest first
- Advisory employees · 9 to 10Mar 27, 2020 to Mar 29, 2021
- Employees · 21 to 22Mar 27, 2020 to Mar 29, 2021
- Other offices · 2 to 1Mar 27, 2020 to Mar 29, 2021
- Discretionary RAUM · $905M to $699MMar 27, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $0 to $87.2MMar 27, 2020 to Mar 29, 2021
- RAUM · $905M to $786MMar 27, 2020 to Mar 29, 2021
- Accounts · 6 to 5Feb 22, 2019 to Mar 27, 2020
- BD registered reps · 3 to 4Feb 22, 2019 to Mar 27, 2020
- Insurance-licensed employees · 0 to 2Feb 22, 2019 to Mar 27, 2020
- State-registered IARs · 3 to 2Feb 22, 2019 to Mar 27, 2020
- Discretionary RAUM · $856M to $905MFeb 22, 2019 to Mar 27, 2020
- RAUM · $856M to $905MFeb 22, 2019 to Mar 27, 2020
- Advisory employees · 12 to 9Mar 29, 2018 to Feb 22, 2019
- BD registered reps · 4 to 3Mar 29, 2018 to Feb 22, 2019
- Employees · 22 to 21Mar 29, 2018 to Feb 22, 2019
- State-registered IARs · 1 to 3Mar 29, 2018 to Feb 22, 2019
- Discretionary RAUM · $1.0B to $856MMar 29, 2018 to Feb 22, 2019
- RAUM · $1.0B to $856MMar 29, 2018 to Feb 22, 2019
- Related bank · false to trueMar 31, 2017 to Mar 28, 2018
- Accounts · 3 to 6Mar 31, 2017 to Mar 28, 2018
- Advisory employees · 14 to 12Mar 31, 2017 to Mar 28, 2018
- Advisory activities · 1 to 2Mar 31, 2017 to Mar 28, 2018
- BD registered reps · 3 to 4Mar 31, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- HNW clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 0.0Mar 31, 2017 to Mar 28, 2018
- Employees · 24 to 22Mar 31, 2017 to Mar 28, 2018
- State-registered IARs · 0 to 1Mar 31, 2017 to Mar 28, 2018
- Other offices · unset to 2.0Mar 31, 2017 to Mar 28, 2018
- Discretionary RAUM · $700M to $1.0BMar 31, 2017 to Mar 28, 2018
- RAUM · $700M to $1.0BMar 31, 2017 to Mar 28, 2018
- Accounts · 4 to 3Jan 27, 2016 to Mar 31, 2017
- Advisory employees · 8 to 14Jan 27, 2016 to Mar 31, 2017
- BD registered reps · 4 to 3Jan 27, 2016 to Mar 31, 2017
- Employees · 21 to 24Jan 27, 2016 to Mar 31, 2017
- Legal name · VIVALDI ASSET MANAGEMENT, LLC to VIVALDI ASSET MANAGEMENT LLCJan 27, 2016 to Mar 31, 2017
- Discretionary RAUM · $177M to $700MJan 27, 2016 to Mar 31, 2017
Signals
4 dated events
- D Marc Bassewitz (Chief Compliance Officer/General Counsel) appeared on Schedule A of Vivaldi Asset Management, LlcFeb 22, 2019 · Control person joined · fact
- Marie Michelle Comella (Chief Compliance Officer/General Counsel) no longer on Schedule A of Vivaldi Asset Management, Llc (listed 2018-03-29, absent 2019-02-22)Feb 22, 2019 · Control person left · inference
- Vivaldi Asset Management, Llc reported RAUM $1.0B, up 46% from $699.8M (2017-03-31 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- Vivaldi Asset Management, Llc filed its initial SEC registration (Form ADV)Aug 22, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026